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Securities / Derivatives
Enforcement
ASIC Issues Interim Stop Orders on Three BT Funds
By Editors | 16/03/2023
ASIC said the TMDs for three funds were “broadly drafted and failed to define key concepts” and did not meet the “appropriateness requirements” under the DDO regime.
ESG / Sustainability
Thailand to Allow SMEs Issue Sustainability-Themed Bonds
By Editors | 16/03/2023
Regulatory amendments will enable small “businesses of all types and sizes” to offer sustainability-themed bonds.
Fintech / Regtech
More TSE Companies Disclosing Earnings Reports in HTML Format
By Editors | 16/03/2023
Over 2,400 companies listed on the Tokyo bourse have voluntarily disclosed their earnings reports in HTML format.
Enforcement
US Charges Exiled Chinese Businessman with $1b Fraud Scheme
By Editors | 16/03/2023
Guo Wengui and his financial adviser allegedly cheated thousands of investors since 2018 by promising outsized returns on various offerings.
Securities / Derivatives
HKEX Confirms Plans to Launch RMB Counter of its Stock
By Editors | 16/03/2023
HKEX said the launch of RMB counter will allow investors to seamlessly interchange between securities listed in both HKD and RMB.
Securities / Derivatives
MAS Publishes Findings from Inspections of VC Fund Managers
By Manesh Samtani | 16/03/2023
Some VCFMs did not make requisite disclosures to investors, have formalised policies and procedures in certain areas, and maintain a positive level of base capital.
ESG / Sustainability
New Zealand Considers Climate Reporting Exemptions for Secondary Listed Issuers
By Sanday Chongo Kabange | 15/03/2023
The exemptions seek to reduce compliance costs for foreign exempt issuers that already produce similar reporting in their home jurisdiction.
Market Infrastructure
FSC to Ease Rules to Help Korean FIs Expand Overseas
By Editors | 15/03/2023
New FSC taskforce will work on measures to help FIs expand and invest overseas and address issues that prevent global firms from entering the Korean market.
ESG / Sustainability
Philippines to Adopt ASEAN SRFS, Issue Blue Bond Framework
By Editors | 15/03/2023
The SEC will adopt the ASEAN Sustainable and Responsible Fund Standards and separately release a new blue bond framework by Q2.
Fintech / Regtech
Korea May See ATS Platforms Launch Within This Year
By Editors | 14/03/2023
Applications for preliminary accreditation will be accepted between 27-30 March. Once authorisation is granted, firms will have six months to launch.
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